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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
X Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange
- - Act of 1934: For the quarterly period ended January 31, 1997
OR
- - Transition report pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934: For the transition period from ________ to ________
Commission file number: 0-27756
ALEXION PHARMACEUTICALS, INC.
-----------------------------
(Exact name of registrant as specified in its charter)
DELAWARE 13-3648318
--------------- ----------------
(State or other (I.R.S. Employer
jurisdiction of Identification No.)
incorporation or
organization)
25 SCIENCE PARK, SUITE 360, NEW HAVEN, CONNECTICUT 06511
--------------------------------------------------------
(Address of principal executive offices) (Zip Code)
203-776-1790
------------
(Registrant's telephone number, including area code)
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days.
Yes X No ___
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CLASS OUTSTANDING AT MARCH 5, 1997
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Common Stock, $0.0001 par value 7,361,721
Page 1 of 3
ALEXION PHARMACEUTICALS, INC.
(A Development Stage Company)
PART II. OTHER INFORMATION
Item 5. Other Information.
Item 6. Exhibits and Reports on Form 8-K
Exhibits
10.1 License and Collaborative Research Agreement between Alexion
Pharmaceuticials, Inc. and Genetic Therapy, Inc. (Incorporated by
reference from the Company's Registration Statement on Form S-1
(File No. 333-19905) (Confidential Treatment has been requested
for portions of such Exhibit)
27 Financial Data Schedule
Form 8-K
Form 8-K filed on February 21, 1997 relating to the adoption
of a Shareholder Rights Plan.
Page 2 of 3
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
ALEXION PHARMACEUTICALS, INC.
Date: March 17, 1997 By: /s/ LEONARD BELL, M.D.
---------------------------------------
Leonard Bell, M.D.
President and Chief Executive Officer,
Secretary and Treasurer (principal
executive officer)
Date: March 17, 1997 By: /s/ DAVID W. KEISER
---------------------------------------
David W. Keiser
Executive Vice President and Chief
Operating Officer (principal
financial officer)
Date: March 17, 1997 By: /s/ BARRY P. LUKE
---------------------------------------
Barry P. Luke
Senior Director of Finance and
Administration (principal accounting
officer)
Page 3 of 3
EXHIBIT INDEX
Exhibit Description
- ------- -----------
10.1 License and Collaborative Research Agreement between
Alexion Pharmaceuticials, Inc. and Genetic Therapy, Inc.
(Incorporated by reference from the Company's
Registration Statement on Form S-1 (File No. 333-19905)
(Confidential Treatment has been requested for portions
of such Exhibit)
27 Financial Data Schedule